Senior Compliance Analyst

New York, NY

Responsibilities

 

  • Assist New York client teams and staff with their compliance responsibilities and needs.
  • Facilitate employee onboarding and offboarding (compliance training, employee registration, regulatory examination coordination and tracking) in the New York office.
  • Assist with administration of the firm’s Code of Ethics, including trade approvals, trade review, affirmation approvals, quarterly transaction reporting and annual attestations.
  • Provide back-up support and coverage for money movement approval process.
  • Review marketing material to ensure compliance with securities laws and rules.
  • Review and supervise employee email.
  • Lead projects implementing procedures to address new business practices or regulatory changes.

 

 

 

 

Requirements

 

  • Bachelor’s degree and a solid academic background.
  • 3 – 5 years’ experience at an investment adviser working with family office clients and private investment funds, and/or experience at a compliance consulting firm.
  • Knowledge of the Investment Advisers Act of 1940 and its related rules and regulations, as well as knowledge of investment adviser compliance programs.
  • Ability to work independently with support and supervision from the principal office in San Francisco.
  • Series 65 preferred (additional regulatory licenses considered: Series 7, 24).
  • Superior communication skills, highly motivated and detail oriented.
  • Confident with technology and comfortable working through technical issues.
  • Desire to work in a team oriented, entrepreneurial environment.

 

 

 

 

Note: Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, we will keep your resume on file for future opportunities and may contact you for further discussion.

Date Posted 3/6/2019
Salary $130,000- $160,000






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